The Reporting Person contributed the Common Stock to an exchange fund in exchange for the right to receive shares in the exchange fund at a later date which is expected to be at least seven years from the date of transfer. The shares were originally transferred into an escrow account on May 19, 2026 before the official contribution on May 21, 2026. The Reporting Person has no further voting control over the transferred shares, nor does he control the investment decisions of the exchange fund or the shares he ultimately receives in exchange for the transferred shares. For purposes of determining the number of shares of the exchange fund issuable pursuant to such exchange, the Common Stock was valued at $868.07, which was the closing price of the Common Stock on The Nasdaq Global Select Market on the day prior to the exchange.
Post-Transaction Holdings
Small Ian
Security
Shares
Change
Common Stock
21.01K
-4.95K (-19.08%)
Original SEC Filing Textexpand_more
=== SEC Form 4 — Statement of Changes in Beneficial Ownership ===
Document Type: 4
Period of Report: 2026-05-21
10b5-1 Pre-arranged Plan: No
--- Issuer ---
Name: Lumentum Holdings Inc. (LITE)
CIK: 0001633978
--- Reporting Owner ---
Name: Small Ian
CIK: 0001714910
Role: Director
--- Non-Derivative Transactions ---
[Transaction #1]
Security: Common Stock
Date: 2026-05-21 | Code: S (Open market sale)
Shares: -4,954 | Price: $868.07
Total Value: $4,300,418.78
Shares Owned After: 21,008 | Ownership: D (Direct)
Footnotes:
[F1] The Reporting Person contributed the Common Stock to an exchange fund in exchange for the right to receive shares in the exchange fund at a later date which is expected to be at least seven years from the date of transfer. The shares were originally transferred into an escrow account on May 19, 2026 before the official contribution on May 21, 2026. The Reporting Person has no further voting control over the transferred shares, nor does he control the investment decisions of the exchange fund or the shares he ultimately receives in exchange for the transferred shares. For purposes of determining the number of shares of the exchange fund issuable pursuant to such exchange, the Common Stock was valued at $868.07, which was the closing price of the Common Stock on The Nasdaq Global Select Market on the day prior to the exchange.
--- Footnotes (Complete Index) ---
F1: The Reporting Person contributed the Common Stock to an exchange fund in exchange for the right to receive shares in the exchange fund at a later date which is expected to be at least seven years from the date of transfer. The shares were originally transferred into an escrow account on May 19, 2026 before the official contribution on May 21, 2026. The Reporting Person has no further voting control over the transferred shares, nor does he control the investment decisions of the exchange fund or the shares he ultimately receives in exchange for the transferred shares. For purposes of determining the number of shares of the exchange fund issuable pursuant to such exchange, the Common Stock was valued at $868.07, which was the closing price of the Common Stock on The Nasdaq Global Select Market on the day prior to the exchange.
--- Signature ---
/s/ /s/ Jae Kim as Attorney-in-Fact (2026-05-22)
